Straus-A Primer For Atonal Set Theory-1991 PDF

A Primer for Atonal Set Theory
Author(s): Joseph N. Straus

Reviewed work(s):
Source: College Music Symposium, Vol. 31 (1991), pp. 1-26
Published by: College Music Society
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Pedagogyof Music Theory
A Primerfor
AtonalSetTheory1
JosephN. Straus
SET THEORY HAS A BAD REPUTATION. LlKE SCHENKERIAN ANALYSIS IN

its earlier days, set theoryhas had an air of the secret society about it,
withadmissiongrantedonly to those who possess the magic password,a for-
bidding technical vocabulary bristlingwith expressions like "6-Z44" and
"intervalvector." It has thus oftenappeared to the uninitiatedas the sterile
application of arcane, mathematicalconcepts to inaudible and uninteresting
musical relationships.This situationhas created understandablefrustration
among musicians,and the frustration has grownas discussions of twentieth-
century music in the professional theoretical literaturehave come to be
expressed almost entirely in this unfamiliarlanguage.
Where did this theorycome fromand how has it managed to become so
dominant?Set theoryemergedin response to the motivicand contextualna-
tureof post-tonalmusic. Tonal music uses only a small numberof referential
sonorities(triads and seventhchords); post-tonalmusic presentsan extraor-
dinaryvarietyof musicalconfigurations. Tonal music sharesa commonpractice
of harmonyand voice leading; post-tonalmusic is more highlyself-referen-
tial- each work defines anew its basic shapes and modes of progression.In
tonal music, motivicrelationshipsare constrainedby the normsof tonal syn-
tax; in post-tonalmusic, motivesbecome independentand functionas primary
structural determinants. In this situation,a new music theorywas needed, free
of traditionaltonal relationshipsand flexibleenoughto describe a wide range
of new musical constructions.The structuralnovelties of post-tonalmusic
caused theoriststo rethinkeven the most basic elementsof music, pitch and
interval.On this new foundation,a new theoryarose, flexible and powerful
enoughto describe a new musical world.
This new theoryhas its roots in work by Milton Babbitt,Allen Forte,
David Lewin, RobertMorris,GeorgePerle, and JohnRahn,but it has flowered
1 This article is
adapted from my Introductionto Post-Tonal Theory, an undergraduatetext-
book recentlypublished by Prentice-Hall.

2 COLLEGE MUSIC SYMPOSIUM
in many differentdirections.2 Set theoryis not a single language, but a
communityof local dialects and subcultures.It is best understoodnot as a
rigidlyprescribedpractice,but as an arrayof flexible tools for discovering
and interpreting musical relationships.It should be emphasized that these
can and shouldbe enjoyablyaudible.If set theoryhas occasionally
relationships
veered into the inaudiblyarcane, that should be blamed on the excesses of
individualpractitioners,not on the theoryitself.At its best, the theorymakes
possible rich and interestinghearings of the finest musical works of the
twentiethcentury.
Despite its occasionally forbiddingappearance, atonal set theoryis not
particularlycomplicated,at least in its basic applications.No high-powered
computersor advanced degrees in mathematicsare needed- just a commit-
mentto twentieth-century music,the abilityto add and subtractsmall integers,
and some good will. What follows is a primerof basic concepts of atonal
set theory.
OctaveEquivalence
There is somethingspecial about the octave. Pitches separated by one
or more octaves are usually perceived as in some sense equivalent. Our mu-
sical notation reflects that equivalence by giving the same name to
octave-relatedpitches.Since equivalencerelationshipsunderpinmuchof atonal
set theory,it should be emphasized at the outset that equivalence does not
mean identity.Example 1 shows two melodic lines fromSchoenberg'sString
QuartetNo. 4, one fromthe beginningof the firstmovementand one a few
measuresfromthe end.3
2A
complete, annotated bibliographyof post-tonal theory,compiled by Martha Hyde and An-
drew Mead, may be found in Music TheorySpectrum11/1 (1989): 44-48. The field as a whole origi-
nates with Milton Babbitt's influentialarticles and teaching, particularly"Some Aspects of Twelve-
Tone Composition," The Score and I. M. A. Magazine 12 (1955): 53-61; "Twelve-Tone Invariantsas
Compositional Determinants,** Musical Quarterly 46 (1960): 246-59; "Set Structureas a Composi-
tional Determinant,'*Journal of Music Theory 5/2 (1961): 72-94. Although these articles focus on
twelve-tone music, their theoretical categories have broad application in post-tonal music. Some of
Babbitt's central concerns are presentedmore informallyin Milton Babbitt: Words About Music, eds.
Stephen Dembski and Joseph N. Straus (Madison: Universityof Wisconsin Press, 1987). The basic
concepts presented in this article are drawn from Babbitt*s work, and also from three widely used
books: Allen Forte, The Structureof Atonal Music (New Haven: Yale UniversityPress, 1973); John
Rahn, Basic Atonal Theory (New York: Longman, 1980); and George Perle, Serial Composition and
Atonality,5th ed. (Berkeley: Universityof California Press, 1981). Two importantrecent books offer
profoundnew perspectives on this basic material,and much else besides: David Lewin, Generalized
Musical Intervals and Transformations(New Haven: Yale UniversityPress, 1987); Robert Morris,
Composition withPitch Classes (New Haven: Yale UniversityPress, 1987).
3
Although atonal set theory is most closely associated with the "free atonal** music of
Schoenberg, Webern, and Berg, it has much more general applications throughoutthe range of post-
tonal music, including particularlytwelve-toneserial music.

A PRIMER FOR ATONAL SET THEORY 3
Example 1. Two equivalentmelodies (Schoenberg,StringQuartetNo. 4, first

movement).
» _ ii A ^
i liLj I 'i I
viol™ I iJiJIlJJJ-i^ i J. JiuJ*io i/' ^
\\ ! // M i i i
c* 1^1 IJLJ
1 1 1 I 1
Althoughthe two lines differin many ways, particularlyin theirrange and
rhythm, they are still understoodas two differentversionsof one single un-
derlying idea. In other words,they are equivalent.
In Example 2, the openingof Schoenberg'sPiano Piece, Op. 11, No. 1,
comparethe firstthreenotes of the melodywiththe sustainednotes in mea-
sures 4-5.
Example 2. Two equivalentmusical ideas (Schoenberg,Piano Piece, Op. 11,

No. 1).
Moderate / ^~ -^-^^
I Til 1'i| I'^^^J

There are manydifferencesbetweenthe two collectionsof notes (register,ar-
ticulation,rhythm, etc.), but theysound equivalentbecause theyboth contain
only a B, a Gl, and a G. As with otherequivalences,the purpose of invok-
ing octave equivalenceis not to smoothout the varietyof the musical surface,
but to reveal the relationshipsthatlie beneaththe surface,lendingunityand
coherenceto musical works.

Pitch Class
betweena pitch (a tone witha certainfrequency)
It is usefulto distinguish
and a pitch class (a group of pitches one or more octaves apart fromone
another).When we say thatthe lowest note on the cello is C, we are refer-
ring to a specific pitch. We can notatethat pitch on the second ledger line
beneaththe bass staff.When we say thatthe tonic of Beethoven's FifthSym-
phonyis C, we are referring not to some particularpitch C, but to pitch-class
C. Pitch-classC is an abstractionand cannotbe accuratelynotatedon musi-
cal staves. Sometimes,for convenience,a pitch class will be representedin
musical notation,but, in reality,a pitch class is not a single thing; it is a
class of things.A pitch and all the otherpitches one or more octaves away
fromit are membersof the same pitchclass.
EnharmonicEquivalence
In common-practice tonal music, Bl>is not equivalentto A*. Even on an
equal-temperedinstrument like the piano, the tonal systemgives Bt and At
different functions. In G-major, forexample, At is t2 whereasBt is lo, and
scale-degrees 2 and 3 have very differentmusical roles. This distinctionis
largely abandoned in post-tonal music, where notes that are enharmonically
equivalent are also functionallyequivalent. Composers may occasionally no-
tate pitches in what seems like a functionalway (sharps for ascending and
flats for descending,for example). For the most part,however,the notation
is functionallymeaningless,determinedprimarilyby simple convenienceand
legibility.
IntegerNotation
Tonal music uses seven scale degrees or step classes. In C-maJor,for
example,At, A*i,and At, in all octaves, are membersof scale-degreeS. Post-
tonal music uses twelve pitch classes. All Bts, Os, and Dl4>sare membersof
a single pitch class, as are all the Cts and Dts, all the CXs, Ds, and Etts,
and so on. Our theoreticaland analyticalpurposes are best served by cutting
throughthe notationaldiversityand assigningintegersfrom0 through11 to
the twelve pitch classes. Set theorycustomarilyuses a "fixed do" notation:
The pitch class containingC, Bt, and DW»is arbitrarilyassigned the integer
0; Ct and Dt are membersof pitch-class 1; D is a memberof pitch-class2;
and so on.
Integersare simple to grasp and to manipulate.They are traditionalin
music (as in figuredbass numbers,for example) and useful for representing
certainmusical relationships.As long as we avoid committingthe "numero-
logical fallacy"- performing mathematicaloperationswithoutregardto their

- we will findthema greathelp.4 Set theoryuses num-
musical implications
bers to model musical relationshipsthatare interesting
and rewardingto hear.
The theoryand the music it describes are not, therefore,
"mathematical"any
more than our lives are "mathematical"just because we count our ages in
integers.
Mod 12
Every pitchbelongs to one of the twelvepitchclasses. If you begin with

a memberof some pitchclass, thengo up or down one or more octaves, you
arriveat anothermemberof the same pitch class. In arithmeticalterms,add-
ing or subtracting 12 (or a multipleof 12) does not changepitch-classidentity.
Thus, 12 is a modulus,and set theoryfrequently reliesupon arithmetic
modulo
12, for which mod 12 is an abbreviation.In a mod 12 system,-12 = 0 =
12 = 24. Similarly,-13, -1, 23, and 35 are all equivalentto 11 (and to each
other) because they are related to 11 (and to each other) by adding or sub-
tracting12 (or multiplesof 12). It's just like tellingtime- twelve hours after
fouro'clock it's fouro'clock again. Set theorysometimesuses negativenumbers
(for example, to suggest the idea of descending) and sometimesuses num-
bers largerthan 11 (forexample,to representthe distancebetweentwo widely
separatedpitches)but,in general,such numbersare discussedin termsof their
mod 12 equivalents,from0 to 11 inclusive.
PitchIntervals
A theoryof post-tonalmusic has no need to give different names to in-
tervalswiththe same absolute size, such as fourths
diminished and majorthirds.
are
In tonal music, such distinctions functionally crucial. A for
third, example,
is an intervalthat spans threesteps of a diatonic scale, while a fourthspans
four steps. A major thirdis consonantwhile a diminishedfourthis disso-
nant. In music that doesn't use diatonic scales and doesn't systematically
distinguishbetweenconsonanceand dissonance,it seems cumbersomeand even
misleadingto use traditionalintervalnames. It is easier and more accurate
musicallyjust to name intervalsaccordingto the numberof semitonesthey
contain.The intervalsbetween C and E and between C and Ft both contain
foursemitonesand are both instancesof interval4, as are Bt-Ft,C-DX, and
so on.
A pitch intervalis simply the distance between two pitches,measured
by the numberof semitonesbetweenthem.If we are concernedabout the di-
rectionof the interval,whetherit is ascendingor descending,we can precede
the numberof semitoneswith either a plus sign (to indicate an ascending
interval)or a minus sign (to indicatea descendinginterval).Intervalswith a
4See Rahn,Basic AtonalTheory,19, fora relateddiscussionof the numerological

fallacy.

plus or minus sign are called directed or ordered intervals.If we are con-
cernedonlywiththe absolutespace betweentwo pitches(an unorderedinterval),
we need only the numberitself.
Whetheran intervalis consideredorderedor unordereddepends on our
particularanalyticalinterestsat the time.Considerthe melodyby Weberngiven
in Example 3.
Example 3. Motivic developmentvia orderedpitch intervals(Webern,"Wie

bin ich froh!"fromThree Songs, Op. 25).
I^J,l'p'hiHinjlyj'flnr H'r^l^]
Wie bin ich froh! noch ein-mal wird mir al - les griin und leuch- tet so!
The intervallicideas of its openingnotes echo throughoutthe line. The

orderedpitch intervalsformedby its firstthreepitches occur again in two
otherplaces, in measure2 (D-B-Bt) and measure3 (C-A-Gt).The second frag-
ment spans a rest and helps to link two lines of the poem. The thirdone
leaps up to a high G>,the highpointof the melody and the last of the twelve
pitch classes to be heard. These intervallicechoes, based on orderedpitch
intervalsare easy to hear.
The threemelodynotes at the beginningof the second measure,Cl-F-D,
also relate to the opening three-notefigure,but in a more subtle way: they
have the same unorderedpitchintervals(see Example 4).
Example 4. Motivic developmentvia unorderedpitch intervals.
* * *
LsJLnJ L8JL3J
The relationshipis not as obvious as the one based on orderedpitch in-

tervals, but it is still not hard to hear. The opening figure can thus be
understoodsimultaneouslyin termsof its orderedand unorderedpitch inter-
vals. The orderedpitch intervalsfocus attentionon the contourof the line,
its balance of risingand fallingmotion.The unorderedpitch intervalsignore
contourand concentrateentirelyon the spaces betweenthe pitches.
Pitch-ClassIntervals
A pitch-classintervalis the distancebetweentwo pitchclasses. Like pitch
intervals,pitch-classintervalscan be thoughtof eitheras orderedor unor-
dered. To calculate an orderedpitch-classinterval,envisionthe pitch classes

arrangedaround a circularclockface and count clockwise (or envision a pi-

ano keyboardand countupward) fromthe firstpitchclass to the second. The
orderedpitch-classintervalfromQ to A, for example, is 8. Notice thatthe
orderedpitch-classintervalbetween A and Q (4) is differentfromthatbe-
tweenCf and A (8). Excluding the unison,thereare eleven different ordered
pitch-classintervals.
In the Webern melody discussed above, the firstfourpitch classes are
the same, in order,as the last four:G-E-Dt-Ft(see Example 5).
Example 5. Differentcontour,but the same orderedpitch-classintervals.

orderedpitch -
intervals: -3+11+3 +9 -13 3 +3
Wie bin ich froh! und leuch- tet so!

orderedpitch-class
9 11 3 9 11 3
intervals:
The contoursof the two fragments(theirorderedpitch intervals)are differ-

ent,but the orderedpitch-classintervalsare the same: 9-11-3. This similarity
is a nice way of roundingoffthe melodicphraseand of reinforcing the rhyme
in the text: "Wie bin ich froh!. . . und leuchtetso!"
For unorderedpitch-classintervals,directionno longer matters.All we
care about now is the space betweentwo pitchclasses. Unorderedpitch-class
intervalsare calculatedfromone pitchclass to the otherby the shortestavail-
able route,eitherup or down. The unorderedpitch-classintervalbetweenCf
and A is 4, because it is only 4 semitonesfromany Cf to the nearestavail-
able A. Notice that the unorderedpitch-classintervalbetween Ct and A is
the same as the unorderedpitch-classintervalbetweenA and Ct- 4 in both
cases. Excludingthe unison,thereare only six different unorderedpitch-class
intervalsbecause, to get fromone pitch class to any otherpitch class, one
neverhas to travelfartherthan six semitones.
Let's returnone more time to our Webern melody. We noted that the
last fourpitch classes were the same as the firstfour,but given a different
contour.This change of contourmakes somethinginteresting happen: it puts
the E up in a high registerand groups the G, Df, and Ft togetherin a low
register.That registrallydefinedthree-notecollection (G-Dt-Ff)containsun-
orderedpitch-classintervals1 (G-Ft),3 (Dt-Ft),and 4 (G-Di). These are exactly
the same as those formedby the firstthree notes of the figure (G-E-Dt):
E-Dt is 1, G-E is 3, and G-Dt is 4. The entire melody develops musical
ideas fromits opening figure,sometimesby imitatingits orderedpitch in-
tervals,sometimesby imitatingits unorderedpitch intervals,and sometimes,
more subtly,by imitatingits orderedor unorderedpitch-classintervals(see
Example 6).

Example 6. Developmentof the initialmelodic figure.

intervals
orderedpitch-class
-"" .
nnr>rHf»iwrftttr4vJnt- ^S^
" ****-* -
■
orderedpitcfrmteixals . ^^^"^^
Ultuuirn1/! """"""'
U^sitrfrrvals
[iJUill
An unorderedpitch-classintervalis also called an intervalclass. Justas each

pitch-classcontains many individualpitches, so each intervalclass contains
many individualpitch intervals.A given pitch interval,its compounds,and
its inversionswith respect to the octave are membersof the same interval
class. Thus, for example, pitch intervals23 (compound major seventh), 13
(minorninth),11 (major seventh),and 1 (semitone) are all membersof in-
terval-class1.
We thushave fourdifferent ways of talkingabout intervals:orderedpitch
interval, unordered pitch interval,orderedpitch-classinterval,and unordered
pitch-class interval.If, for example, we want to describe the intervalfrom
the lowest note in the Webern melody, B3, to the highest,GI5, we can do
so in fourdifferent ways. If we call it a +21, we have describedit veryspe-
cifically,conveyingboth the size of the intervaland its direction.If we call
it a 21, we express only its size. If we call it a 9, we have reduced a com-
pound intervalto its simple equivalent.If we call it a 3, we have expressed
the intervalin its simplest,most abstractform.None of these labels is bet-
ter or more correctthanthe others.It's just thatsome are more concreteand
specificwhile othersare more generaland abstract.
It's like describingany object in the world- what you see depends upon
where you stand. If you stand a few inches away froma painting,for ex-
ample, you may be aware of the subtlestdetails, rightdown to the individual
brushstrokes. If you standback a bit, you will be betterable to see the larger
shapes and the overall design. There is no single "right"place to stand; to
appreciate the painting,you should be willing to move fromplace to place.
One of the nice thingsabout music is thatyou can hear a single object like
an intervalin manydifferent ways at once, as thoughit were possible to stand
in several different places at the same time.
Interval-ClassContent
The sound of a sonorityis determinedto a significantdegree by its
interval-classcontent.This can be summarizedin Scoreboardfashionby in-
dicating,in the appropriatecolumn,the numberof occurrencesof each of the
six intervalclasses. Example 7 refersagain to the three-notesonorityfrom
Schoenberg'sPiano Piece, Op. 11, No. 1.

Example 7. Interval-class content of a three-notesonority (Schoenberg,

Piano Piece, Op. 11, No. 1).
Moderate "T^^
"7^-^-^^
I"1"TTTi
1'n \^^§-j
class
Interval I 2 3 4 5 6
A rJmmmmm^4r
* ^ of
number 1 0 110 0
&\ - 1U
-^ 1 ff" "^h» occurrences 11111
Like any three-notesonority,it necessarilycontains three intervalsin this

case one occurrenceeach of interval-classes1, 3, and 4 (and no 2, 5, or 6).
How different this is fromthe sonoritiespreferredby Stravinskyin the pas-
sage from his opera The Rake's Progress,labeled 1 and 2 in Example 8! These
sonoritiescontainonly 2s and 5s.
Example 8. Interval-class content of a contrasting three-note sonority

(Stravinsky,The Rake's Progress, Act I, Scene 1).
j 7Q
^^sS^f^^E^^^ls^^^^ 35:=
class
Interval 12 3 4 5 6
numberof 0 10 0 2 0
occurrences | | \

The interval-classcontentis usually presentedas a stringof six num-

bers with no spaces intervening.This is called an intervalvector.The first
numberin an intervalvectorgives the numberof occurrencesof interval-class
1; the second numbergives the numberof occurrencesof interval-class2;
and so on. The intervalvectorforthe sonorityin Example7, G-Gt-B,is 101100
and the intervalvector for the sonoritiesin Example 8 (A-B-E and D-E-A)
is 010020. Their differencein sound is clearly suggestedby the difference
in theirintervalvectors.
Intervalvectors can be constructedfor sonoritiesof any size or shape.
Intervalvectorsare notreallynecessaryfortalkingabouttraditional tonalmusic.
There, only a few basic sonorities - four kinds of triads and five kinds of
seventhchords- are regularlyin use. Post-tonalmusic, however,confrontsus
witha huge varietyof musical sonorities.The intervalvectoris a convenient
way of summarizingtheirbasic sound.
Even thoughthe intervalvectoris not as necessarya tool for tonal mu-
perspectiveon traditional
sic as forpost-tonalmusic,it can offeran interesting
formations.Example 9 calculates the intervalvectorforthe major scale.
Example 9. IntervalVector forthe major scale.
class: 12
Interval 3 4 5 6
tr - ^n. ^
| j^g^J; j 11110
i 2 2
ii^ ifi7Tr^m
^ 2
iL. ■ I l l
• ' ■ l ' '
i&.. • *•'
4 totalnumber
' __!
9 4 <; ^ fi 1
l^l^l4!^!0'1
ofoccurrences:

Notice the methodicalprocess of extractingeach intervalclass. First,the

intervalsformedwiththe firstnote are extracted,thenthose formedwiththe
second note, and so on. As with any seven-notecollection,thereare 21 in-
tervalsin all.
Certain intervallicpropertiesof the major scale are immediatelyappar-
ent fromits intervalvector. It has only one tritone(fewer than any other
interval)and 6 occurrences(more than any otherinterval)of interval-class5
whichcontainsthe perfectfourthand fifth.This probablyonly confirmswhat
we alreadyknew about this scale, but the intervalvectormakes the same kind
of informationavailable about less familiarcollections. The intervalvector
of the major scale has anotherinterestingproperty - it contains a different
numberof occurrencesof each of the intervalclasses. This is an extremely
important and rareproperty(only threeothercollectionshave it), and it makes
possible the traditionaltonal hierarchyof closely and distantlyrelatedkeys.
In comparisonto the unique multiplicity of intervalclasses in the major scale,
the intervalvectorforthe whole-tonescale- 060603- presentsa starkeither/
or. The contrastingpropertiesof the two scales are suggestedby theircon-
trastingintervalvectors.
Pitch-ClassSets
Pitch-classsets are the basic buildingblocks of much post-tonalmusic.
A pitch-classset is simplyan unorderedcollectionof pitch-classes.It is like
a motive withoutmany of its customaryidentifying - register,
characteristics
rhythm, and order.Example 10 shows five different occurrencesof a single
pitch-classset, [Dt, E, F, G], in the Gavotte fromSchoenberg's Suite forPi-
ano, Op. 25.

Example 10. A single pitch-class set expressed in five differentways

(Schoenberg,Gavotte,fromSuite forPiano, Op. 25).
(\A f (ifo
/fi^K
^ ^ *
=====
i»;4 \k\jk '
ffn \ /i r
rit. - -
l
26 *tf~^"\ • a
^ s^
It is expressed in a varietyof ways, but always retainsits basic pitch-class

and interval-classidentity.A balance of compositionalunityand diversitycan
be achievedby selectinga pitch-classset (or a small numberof different
pitch-
class sets) as a basic structuralunit,and thentransformingthatbasic unit in
various ways. When we listen to or analyze music, we search for coherence.
In a great deal of post-tonalmusic, thatcoherence is determinedby the use
of pitch-classsets.
NormalForm
A pitch-classset can be presentedmusicallyin a varietyof ways. Con-
versely,manydifferent musical figurescan representthe same pitch-classset.
To aid in recognizinga pitch-classset no matterhow it is presentedin the
music,it is oftenhelpfulto put it into a simple,compact,easily graspedform

called the normalform.5The normalform - themostcompressedway of writing
-
a pitch-classset makes it easy to see the essential attributesof a sonority
and to compare it to othersonorities.
The normalformof a pitch-classset is similarto the root positionof a
triad,in thatboth are simple,compressedways of representing sonoritiesthat
can occur in many positions and spacings. There are importantdifferences
however. In traditionaltonal theory,the inversionsof a triad are generated
fromthe relativelymore stable root position. The normalform,in contrast,
has no particularstabilityor priority.It is just a convenientway of writing
sets so thattheycan be more easily studiedand compared.
To put a set in normal form,its pitch classes must be arrangedin as-
cending order,withinan octave, with the smallestpossible intervalbetween
the firstand last notes, and withthe smallerintervalspacked towardthe bot-
tom.6 For most sets, the normalformis evidentfromsimple inspection,but
here is the step-by-stepprocedure:
1. Excluding doublings,writethe pitch classes ascending withinan oc-

tave. There will be as many differentways of doing this as there are
pitch classes in the set, since an orderingcan begin on any of the pitch
classes in the set. (The set fromSchoenberg'sGavotte,forexample,can
be writtenout as E-F-G-Dt,F-G-Dt-E,G-Dt-E-F,and Dt-E-F-G).
2. Choose the orderingwhich has the smallest intervalfromthe lowest

to thehighestnote.(The normalformof theset fromSchoenberg'sGavotte
is [Dt, E, F, G]- the intervalfromDt to G is only 6).
3. If two or more orderingsshare the same smallest intervalfromthe

lowest to the highestnote, choose the orderingthat is most packed to
the left.To determinewhich is most packed to the left,comparethe in-
tervals between the firstand second-to-lastnotes. If the determination
is stillnot clear,comparethe intervalsbetweenfirstand third-to-last
notes,
and so on. (For example,the famous "changingchord" fromSchoenberg's
Five OrchestralPieces, Op. 16, No. 3, can be writtenin two ways with
only an 8 fromlowest to highest:E-Gi-A-B-C and Gi-A-B-C-E.Of these,
[G#,A, B, C, E] is the normal form,since it has the smaller interval
fromfirstto second-to-last).
4. If all of the comparisonsof Rule 3 still produceno clear choice, then

arbitrarilypick the orderingbeginningwith the pitch class represented
by the smallest integer.(For example, A-Q-F, Q-F-A, and F-A-Q are
5 The
concept of "normal form" is original with Milton Babbitt. See "Set Structureas a Com-
positional Determinant."
6Allen Forte (The Structureof Atonal Music) and JohnRahn (Basic Atonal Theory)differslightly
in their definitionof normal form, but this results in only a small number of discrepancies. This
article adopts Rahn's formulation.Unfortunately,many differentnotationalconventions are currently
in use. In this article, normal formswill be given in square brackets.

in a three-waytie accordingto Rule 3. [Ci, F, A] is designatedas the
normalformsince its firstpitchclass is 1, which is lower than5 or 9.)
Transposition
The termtranspositiontraditionallyrefersto lines of pitches. When we
transposea tune fromC major to G major, we transposeeach pitch, in or-
der, by some pitch interval. This operation preserves the ordered pitch
intervalsin the line and thus its contour.Because contouris such a basic
musical feature,it is easy to recognizewhen two lines of pitches are related
by transposition.
Transposinga set (not a line) of pitch classes (not pitches) is somewhat
different.To transposea pitch-classset by some intervaln, an operationrep-
resentedby the expressionTn, simply add n to each pitch class in the set.
For example, to transpose[5, 7, 8, 11] by pitch-classinterval8, simplyadd
8 (mod 12) to each elementin the set to create a new set [1, 3, 4, 7]. If the
firstset is in normalform,its transpositionwill be also (with a small num-
ber of exceptionsrelatedto the fourthrule fordetermining normalform).
A pitch-classset is a collection with no specified order or contour.As
a result,transpositionof a set preservesneitherordernor contour.The four
pitch-classsets circled in Example 11 are all transpositionsof one another.

Example 11. Transpositionallyequivalentpitch-classsets (Webern,Concerto

Op. 24, second movement).
forNine Instruments,
Sehr Langsamo - ca40
F1-mi " ========^=^
ob-
is==EE^^m=^=^====
- fill l 1 ^
(TijnimermitDmpf. / /
Trp- ' " I / 1/ ^

( Ak"(i|J\ I I
\ \ /mil /
Dmpf.
" VI - i ■ "
«* r~fl
*hi \,
V -s- ===== Iffhr \ '/ I
^EE^=^=^
==H"
\ --mivpmpfX
-• M ¥r>i 1 ■ l^ I .■ I
l^^^^Jr,)
iD I I . i I" 1 [I ■

These sets are dissimilarin manyobvious ways,includingtheirpitchand pitch-
class content,theirmannerof presentation, theircontour,and theirorder.
Withall of thesedifferences, theystill have two important thingsin com-
mon.First,theycontainone-to-onecorrespondences amongtheirelements.This
is particularlyclear when the sets are writtenin normal form,as they are
beneaththe score in Example 11. For example, the Df has the same position
in the firstset that the D has in the second set, the B in the thirdset, and
the At in the fourthset. Second, theyall have the same intervalvector;each
of themcontainsinterval-classes1, 3, and 4, and no others.This gives them
a similarsound.Transposition of a set of pitchclasses may changemanythings,
but it preservesinterval-classcontent.Along with inversion,transpositionis
one of only two operationsthatdo so, and consequently,is an important com-
positionalmeans of creatinga deeperunitybeneatha complexmusical surface.
Considerthe beginningof the piano introduction to one of the songs from
Schoenberg'sBook of the Hanging Gardens, Op. 15, shown in Example 12.
equivalentpitch-classsets, and a transpositional

Example 12. Transpositionally
path (Schoenberg,Book of the Hanging Gardens, Op. 15, No. 11).
Sehrruhig(* = 4£>
" " =
(fc(«
Gesang \ E |
[BKI>, D, F]
To %
-JsL-i*
/' \ = l . i I == *
- h - IAYttJ*
n^!^- - * */ PP '
Klavier
Jj, ■ I ■ I ■==
«P [d.E.F.G»] [F.G».A.C]
T3 pocorit.T7-
-^-'^ ppp
The openingfour-note melodyin the righthand of the piano describesa certain

pitch-classset, [Bt, Dt, D, F] in normalform.When the music continuesin
measure 2, the righthand of the piano transposes[Bt, Dt, D, F] to T3, re-
sultingin [O, E, F, G#].Then, in measure4, it transposesagain, this time to
T7, resultingin [F, G#,A, C]. The music thus takes an initial musical idea
and projects it througha transpositionalpath: TO-T3-T7.That succession of

transpositionlevels, 0-3-7, exactly mirrorsthe intervallicsuccession of the

firstthreenotes of the melody,Bt-Dt-F.The passage is thus audiblyunified,
not only by the transpositionalequivalence of threepitch class sets, but by
its large-scalereproductionof a small-scalemotivicidea.7
Inversion
inversionis an operationtraditionallyapplied to lines
Like transposition,
of pitches. In invertinga line of pitches,order is preservedand contouris
reversed- each ascendingpitch intervalis replaced by a descendingone and
vice versa. Furthermore, traditionaltonal practicerequiresonly that interval
sizes be maintained,not intervalqualities (major can become minor,and vice
versa).
Inversionof a pitch-classset is a bit different.It is best understoodas
a compoundoperationexpressedas TnI,where "I" means "invert" and "Tn"
means "transposeby some intervaln." By convention,we will always invert
firstand thentranspose.The inversionof pitch-classn is 12-n. Pitch-class 1
invertsto -1, or 11. 2 invertsto 10; 3 invertsto 9; and so on. Afterwe
invert,we will transposein the usual way.
Example 13 shows again the opening of Schoenberg'sPiano Piece, Op.
11, No. 1.
Example 13. Inversionallyequivalentpitch-classsets.

Moderate)
QX-.- ^ fi\
V}
InlMl tfHf^
13 3 1 3 1
Comparethe firsttwo sets circled in the example. They have the same inter-
val-class content,but theirintervalsare arrangedin reverseorder.The second
7The eleventh
song fromSchoenberg's Book of the Hanging Gardens has been analyzed briefly
by Tom Demske ("Registral Centers of Balance in Atonal Works by Schoenberg and Webern," In
TheoryOnly 9/2-3 (1986): 60-76), and, in great and compelling detail by David Lewin ("Toward the
Analysis of a Schoenberg Song (Op. 15, No. 11)," Perspectives of New Music 12/1-2 (1973-4): 43-
86). My brief discussion is indebted to the latter.

set has the same intervalsreadingfromthe top down as the firstdoes read-
ing fromthe bottomup. Sets related by inversioncan always be writtenin
this way. Now comparethe firstand thirdsets. Again, these two sets are re-
lated by inversion.They have the same interval-classcontent,but the intervals
are in reverseorder.
To inverta set, simplyinverteach memberof the set in turn.For ex-
ample, to apply the operationT5I to the set [1, 3, 4, 7], just apply T5I to
each integerin turn.Rememberingto invertbeforetransposing,we get ((12-
l)+5, (12-3)+5, (12-4)+5, (12-7)+5) = (4, 2, 1, 10). Notice that if we write
this new set in reverseorder [10, 1, 2, 41 it will be in normal form.There
will be some exceptions,but generallywhen you inverta set in normalform,
the resultingset will be in normalformwrittenbackwards.
The conceptof index numberoffersa simplerway both of invertingsets
and of telling if two sets are inversionallyrelated.8 When we compared
transpositionallyrelated sets, we subtractedcorrespondingelementsin each
set and called that differencethe "transpositionnumber."When comparing
inversionallyrelated sets, we will add correspondingelementsand call that
sum an "index number."When two sets are relatedby transpositionand both
sets are in normalform,the firstelementin one set correspondsto the first
elementin the other,the second to the second, and so on. When two sets
are related by inversionand both are in normal form,the firstelement in
one set will usually correspondto the last elementin the other,the second
to the second-to-last,and so on. This is because inversionallyrelated sets
are mirrorimages of each other.
Here again are the firstand thirdsets fromExample 13, writtenin inte-
ger notation:[7, 8, 11] and [6, 9, 10]. If we add the pairs of corresponding
elements(firstto last, second to second-to-last,and last to first),we get 5
(mod 12) in each case. These two sets are related at T5I. Any two sets in
which the correspondingelementsall have the same sum are related by in-
versionand thatsum is the index number.To findthe index numberfortwo
inversionallyrelated pitch classes, simplyadd themtogether.Conversely,to
performthe operationTnI on some pitch class, simplysubtractit fromn. To
performthe operationT4I on [10, 1, 2, 6], for example, subtracteach ele-
mentin turnfrom4: (4-10, 4-1, 4-2, 4-6) = (6, 3, 2, 10). As before,inverting
a set in normal formproduces the normal formof a new set writtenback-
wards. The normalformof (6, 3, 2, 10) is [10, 2, 3, 6].
• The
concept of "index number"was firstdiscussed by Milton Babbitt in "Twelve-Tone Rhyth-
mic Structureand the Electronic Medium/*Perspectives of New Music 1/1 (1962): 49-79; reprinted
in Perspectives on ContemporaryMusic Theory, eds. Bo retz and Cone (New York: Norton, 1972),
148-79. He developed this concept in many of his articles, including "ContemporaryMusic Compo-
sition and Music Theory as ContemporaryIntellectualHistory,"Perspectives in Musicology, eds. Brook,
Downes, and Van Solkema (New York: Norton, 1971), 151-84.

Set Class
Consider the followingcollection of pitch-classsets, all given in nor-
mal form.
[2, 5, 6] [6, 7, 10]

[3, 6,7] [7, 8, 11]
[4, 7, 8] [8, 9, 0]
[5, 8, 9] [9, 10, 1]
[6, 9, 10] [10, 11, 2]
[7, 10, 11] [11, 0, 3]
[8, 11,0] [0, 1,4]
[9, 0, 1] [1, 2, 5]
[10, 1, 2] [2, 3, 6]
[11,2, 3] [3,4,7]
[0, 3, 4] [4, 5, 8]
[1, 4, 5] [5, 6, 9]
In the firstcolumn,the firstentryis an arbitrarily chosen set which is

transposed at each of the twelve transposition levels. Each of the twelve sets
is related to the remainingeleven by transposition.The second column be-
gins with an inversionof the set, which is similarlytransposedat each of
the twelve levels. In the second column,as in the first,each pitch-classset
is relatedby transpositionto the othereleven. Now consider all twenty-four
of these sets together.Each of the twenty-four is relatedto all of the others
by either transposition or inversion.The twenty-four pitch-classsets thuscom-
prise a single, closely related family of sets called a set class. Each pitch-class
set is a memberof the set-class.
Justas a pitch class contains many equivalent pitches and an interval
class contains many equivalent intervals,a set class contains many equiva-
lent sets. Normally,a set class contains twenty-four members.A set class
containingsymmetrical sets, however, has fewer. The set class of the dimin-
ished-seventhchord,for example, containsonly threedistinctmembers:[Q,
E, G, Bt], [D, F, Al>,B], and [C, Eb, F#,A]. Few sets are as redundantas
this one (althoughone set, the whole-tonescale, is even more so). Most set
classes containtwenty-four members;the rest have betweentwo and twenty-
four.
Set-class membershipis an importantpart of post-tonalmusical struc-
ture.Everypitch-classset belongs to a single set class. The sets in a set class
are all related to each otherby eitherTn or TnL As a result,they all have
the same interval-classcontent.By using membersof a single set class in a
composition,a composer can create underlyingcoherencewhile varyingthe
musical surface.
Let's look yet again at the openingsectionof Schoenberg'sPiano Piece,
Op. 11, No. 1 to see how set-class membershipcan lend musical coherence
to a varied surface.The passage (omittingthe briefvaried repetitionsin mea-
sures 5-8) is shown in Example 14 with a numberof pitch-classsets circled
or joined by a beam. All of these pitch-classsets are membersof the same
set class.

Example 14. Varied presentationof membersof a single-setclass.
L_ 1 >> > 1 1
In the firstthreemeasures, a single continuousmelody descends from

its highpointon B. In measures 4-5, the melody is reduced to a two-note
fragmentthat reaches up to G (two immediaterepetitionsof this figureare
omittedfromthe example). In measures9-11, the opening melody returnsin
a varied formwith a highpointof Gt. These threenotes, B-G-Gi, are sepa-
rated in time but associated as contourhighpoints.These are the same pitch
classes as the firstthreenotes of the piece and the sustainednotes in mea-
sures 4-5.
Each note in this large-scalestatementis also partof at least one small-
scale statementof anothermemberof the same set class. The B in measure
1 is part of the collection [G, Gf, B]. In measures 4-5, the highpointG is
part of not only the sustainedchord [G, Gi, B] but also part of the registral
grouping[G, Bt, B]. An additionalmemberof the set class, [Bt, B, D], is
formedin the middle of the textureand still another,[Ft, A, Ai], is formed
by the movingpart in the tenorvoice. In measure 10, the G#is part of the
collection[G#,A, C]. Additionalmembersof the set class are sprinkledthrough-
out the passage. In measure 3, forexample,both the left-handchord and the
highestthreenotes in the measure are membersof the set class. The passage
as a whole is also spannedby a large-scalestatementin the bass. The chords
in measures 2-3 presentGt-Btin the bass. When the chords returnin mea-
sures 10-11, the Gt is restated,thenG arrivesto complete the set-statement,
[Gk G, Bt].
The passage is virtuallysaturatedwith occurrencesof this set class. It
occurs as a melodic fragment,as a chord, and as a combinationof melody
and chord.It is articulatedby registerand, over a large span, by contourand
mode of attack.An entirenetworkof musical associations radiates fromthe
openingthree-note melodic figure.Some of the laterstatements have the same
pitch content, some the same pitch-class content. Some are related by trans-
position, some by inversion. All are members of the same set class. As in

tonal music,but witheven greaterintensity,

an initialmusical idea grows and
develops as the music proceeds.9
Prime Form
There are two standardways of naming set classes. First, Allen Forte,
has compiled a well-knownlist of set classes. He identifieseach with a pair
of numbersseparatedby a dash (for example, 3-4). The numberbefore the
dash tells the numberof pitch classes in the set. The numberafterthe dash
gives its position on Forte's list. Set-class 3-4, for example, is the fourthon
Forte's list of three-noteset classes. Forte's names are widely used.
The second common way of identifyingset classes is to look at all of
the membersof the set class, select the one with the "most normal"of nor-
mal forms,and use thatto name the set-class as a whole. This optimalform,
called the primeform, begins with 0 and is most packed to the left. Of the
twenty-four pitch-classsets listed at the beginningof the previous section of
this article,two begin with0: 034 and 014. Of these,(014) is the mostpacked
to the left and is the primeform.Those twenty-four sets are all membersof
the set class with prime form(014). More familiarly,we say that each of
those sets "is a (014)." In the rest of this article,set classes will be identi-
fied by both theirname accordingto Forte and, in parentheses,theirprime
form.10
Here is the procedurefor findingthe prime formof a set class, a pro-
cess usually referredto as puttinga set in primeform:
1. Put the set into normalform.(Take [1, 5, 6, 7] as an example.)

2. Transpose the set so that the firstelementis 0. (If we transpose
[1, 5, 6, 7] by Tn, we get [0, 4, 5, 6].)
3. Invertthe set and repeatsteps 1 and 2. ([1, 5, 6, 7] invertsto (11,
7, 6, 5). The normalformof that set is [5, 6, 7, 11]. If that set
is transposedat T7, the resultis [0, 1, 2, 6].)
4. Comparethe resultsof step 2 and step 3; whicheveris morepacked
to the left is the primeform.([0, 1, 2, 6] is more packed to the
leftthan [0, 4, 5, 6], so (0126) is the primeformof the set class
of which [1, 5, 6, 7], our example,is a member.)
Lists of set classes are available in manypublishedworks,includingthe

books by Forte, Rahn, and Morris cited in the notes to this article. Consid-
eringthe largenumberof pitchclass sets,thereare surprisinglyfew set classes.
9
Schoenberg*s Piano Piece, Op. 11, No. 1, has been widely analyzed. George Perle discusses
its intensive use of this same three-notemotive (which he calls a "basic cell") in Serial Composition
and Atonality.See also Allen Forte, "The Magical Kaleidoscope: Schoenberg*s First Atonal Master-
work, Opus 11, No. 1," Journal of the Arnold Schoenberg Institute 5 (1981): 127-68; and Gary
Wittlich, "Intervallic Set Structurein Schoenberg's Op. 11, No. 1," Perspectives of New Music 13
(1972): 41-55.
10As with normal form,conventionsfor notatingprime formsvary fromsource to source.

For example, thereare 220 distincttrichords,but these can be grouped into
just twelve different trichord-classes.There are also only twelve nonachord-
classes. Similarly,thereare only 29 tetrachord-classes and octachord-classes,
38 pentachord-classesand septachord-classes),and 50 hexachord-classes.
At this very basic level, set theoryinvolves namingthings,findingpre-
cise, accurate,and consistentways of describingmusicalobjects. While naming
thingsmay be a low-level analyticalact, it is an indispensablefirststep to-
ward musical understanding.Like Adam in the Garden of Eden, we find
ourselvesin a new world and,just as his firsttask was to name all the beasts
of the field and fowl of the air, ours has been to develop a flexible,accu-
rate nomenclature fornotes,intervals,and collections.A reliable music theory
mustnot stop there,but it mustcertainlystartthere.
Z-relation
Any two sets related by transpositionor inversionmust have the same

interval-classcontent.The converse,however,is not true. There are pairs of
sets (one pair of tetrachords,threepairs of pentachords,and fifteenpairs of
hexachords) that have the same interval-classcontent,but are not relatedto
each otherby eithertranspositionor inversionand thus are not membersof
the same set class. Sets thathave the same intervalcontentbut are not trans-
between
positionsor inversionsof each otherare Z-related and the relationship
themis the Z-relation(the Z doesn't stand for anythingin particular).11Sets
in the Z-relationwill sound similarbecause theyhave the same interval-class
content,but they won't be as closely related to each other as sets that are
membersof the same set class. If the membersof a set class are like sib-
lings withina tightlyknit nuclear family,then Z-related sets are like first
cousins. In Example 15, an excerptfromthe thirdof Stravinsky'sPieces for
StringQuartet,the occurrencesof 4-Z15 (0146) in measures24-26 are strongly
linkedto the similaroccurrencesof 4-Z29 (0137) in measures27-28.
11The Z-relation was firstdescribed David Lewin in "The IntervallicContentof a Col-

ship by
lectionof Notes,Intervallic
Relationsbetweena Collectionof Notesand Its Complement: An Appli-
cationto Schoenberg'sHexachordalPieces,'*Journalof Music Theory4 (1960): 98-101. The use of
thelabel "Z" to referto thisrelationship
is a coinageof Allen Forte's (see The Structure
of Atonal
Music,21-24).

Example 15. The Z-relation(Stravinsky,Pieces for StringQuartet,No. 3).
1\itti glissezavec Varcheten toutesa longueur .
ifi .1 jfc.i ri|/iiiij jY i i Tr ' I r rir rr ' ^
4-Z15(014 6) tj^g, [ MEiz=a=±jl Jll 1 J | ±==

sonsi«els\yV ^L^
4-Z29 (013 7)
Any set with a Z in its name has a "Z-correspondent,"anotherset with a

differentprime formbut the same intervalvector. On most set lists, the Z-
related hexachordsare listed across fromone another,but you will have to
look throughthe list forthe Z-relatedsets of othersizes.
Relation
Complement
For any set, the pitch classes it excludes constituteits complement.The
complementof the set [3, 6, 7], forexample, is [8, 9, 10, 11, 0, 1, 2, 4, 5].
Anyset and its complement, takentogether, will containall twelvepitchclasses.
For any set containingn elements,its complementwill contain 12-n elements.
There is an importantintervallicsimilaritybetweena set and its comple-
ment. It mightseem logical to suppose that whateverintervalsa set has in
abundance,its complementwill have few of, and vice versa. It turnsout, how-
ever, that a set and its complementalways have a similar distributionof
intervals.For complementary sets, the differencein the numberof occurrences
of each intervalis equal to the differencein the size of the sets (except for

the tritone,where it will be half that difference).12If a tetrachordhas the
intervalvector021030, its eight-notecomplementwill have the vector465472.
The eight-noteset has fourmoreof everything (except forthe tritoneof which
it has two more). The larger set is like an expanded version of its smaller
complement.
This intervallicrelationshipholds even if the two sets are not literally
complementsof each other,so long as they are membersof complement-re-
lated set classes. For example, [3, 4, 5] and [5, 6, 7, 8, 9, 10, 11, 0, 1] are
not literal complementsof each other,since they share pitch-class5. How-
ever,theyare membersof complement-related set classes. In otherwords,each
set is related by transpositionor inversionto the literal complementof the
other,and therefore theyhave a similardistribution of intervals.Complement-
relatedsets do not have as muchin commonas transpositionally or inversionally
related sets, but they do have a similar sound because of the similarityof
theirintervalcontent.
The complementrelationis particularlyimportantin any music in which
the twelve pitch classes are circulatingrelativelyfreelyand in which the ag-
gregate (a collection containing all twelve pitch classes) is an important
structuralunit. Wheneverthe aggregateis divided into two parts,each part
will have a similardistribution of intervals.If, forexample, five of the pitch
classes are played as a melody and the remainingseven are played in ac-
companyingchords,the melody and the accompanimentwill have a similar
sound because theycontaina similardistribution of intervals.
The finalfour-note chordof Schoenberg'sLittlePiano Piece, Op. 19, No.
2 is a formof 4-19 (0148), a set class prominentthroughoutthatpiece and
one commonin much of Schoenberg'smusic (see Example 16).
Example 16. The complementrelation (Schoenberg,Little Piano Piece, Op.

19, No. 2).
exactlyin time 4-19 (O148)( , J |
v *
PP
pocorit.
■=
^
r*i * * H i i 1lfB
u I*** n 'im
FF 8-19 (01245689)
12The intervallic
relationshipof complementarysets was firstdiscovered by Milton Babbitt with
regard to hexachords. Generalizing this relationshipto sets of other sizes, was the work of Babbitt
and David Lewin (see Lewin's "The IntervallicContent of a Collection of Notes"). Babbitt discusses
the development of his theorem about hexachords and its subsequent generalization in Milton Bab-
bitt: Words About Music, 104-106.

The last eight notes of the piece (which, of course, include that final four-
note chord), are a formof 8-19 (01245689), the complementaryset class.
Comparethe intervalvectorsof these two sets: the vectorfor4-19 is 101310
and the vectorfor 8-19 is 545752. Both sets are particularlyrich in interval-
class 4. In fact, no four-or eight-noteset contains more 4s than these do.
And notice how prominently the 4s are featuredin the music. Because of the
complementrelation,the final four-notechord sounds similar to the larger
eight-notecollection of which it is a part. Most lists of sets place comple-
ment-related sets across fromone another.In Forte's set names,complementary
sets always have the same numberfollowingthe dash. Thus, 4-19 and 8-19
are complementsof each otheras are 3-6 and 9-6, 5-Z12 and 7-Z12, and so
on.
The complementrelationshipholds particularinterestfor hexachords.
Some hexachordsare "self-complementary" - theyand theircomplementsare
membersof the same set class. For a simple example,considerthe hexachord
[2, 3, 4, 5, 6, 7]. Its complementis [8, 9, 10, 11, 0, 1]. But both of these
sets are membersof set-class6-1 (0123456). In otherwords,self-complemen-
tary hexachords are those that are related to their complementsby either
T, or T.I.
If a hexachordis not self-complementary, then it must be Z-related to
its complement.Rememberthat with complementary sets, the differencein
the numberof occurrencesof any intervalis equal to the differencein the
size of the two sets. But a hexachordis exactlythe same size as its comple-
ment.As a result,a hexachordalways has exactly the same intervalcontent
as its complement.If it is also relatedto its complementby Tn or TnI, then
it is self-complementary. If not, then it is Z-relatedto its complement.This
intervallicrelationshipbetweencomplementary hexachordsis particularlyim-
portant for much twelve-tone music.
In additionto the basic nomenclatureand relationshipsdescribedabove,
atonal set theory has developed a relatively sophisticated vocabulary for
discussing common tones under transpositionand inversion,13the similarity
of non-equivalentsets,14inversionalsymmetry and axes of symmetry,15 sub-
13Commontones undertransposition and inversionare discussedin Forte,The Structureof

AtonalMusic,29-46 and Rahn,Basic AtonalTheory,97-115. For Morris'sapproachto the question,
usuallythroughthe use of matrices,see his reviewof Rahn,Basic AtonalTheoryin Music Theory
Spectrum 4 (1982): 138-55and his own Composition withPitchClasses, 70-78. Lewin describesthe
samephenomenain termsof his Embeddingand InjectionFunctions.See GeneralizedMusical Inter-
vals, 88-156.
14On similarity of AtonalMusic,46-59; CharlesLord,
relations,see Allen Forte,The Structure
"IntervallicSimilarityRelationsin AtonalSet Analysis,"Journalof Music Theory25 (1981): 91-
111; RobertMorris,"A Similarity IndexforPitch-Class ofNewMusic 18/1-2(1979-
Sets/*Perspectives
1980), 445-60; JohnRahn,"RelatingSets," Perspectivesof New Music 18/1-2(1979-80): 483-98;
and David Lewin,"A Responseto a Response:On PC Set Relatedness," Perspectivesof New Music
18/1-2(1979-80): 498-502.
15On inversionalsymmetry and its musicalconsequences,see Rahn,Basic AtonalTheory t 49-
51 and 91-95; Lewin, "InversionalBalance as an OrganizingForce in Schoenberg'sMusic and
Thought,"Perspectivesof New Music 6/2 (1968): 1-21; and Perle,Twelve-Tone Tonality(Berkeley:
University of CaliforniaPress,1977).

set and superset relations,16and ways of groupingset classes into interre-

lated complexes.17Despite this sophistication,post-tonaltheoryis still in its
relativeinfancy,particularlycomparedto tonal theory,now enteringat least
its fourthcenturyof development.That offersboth bad news and good news
to those eager to understandpost-tonalmusic. The bad news is that we are
still at a relativelyprimitiveanalytical stage, with considerable effortstill
devoted to comparativelyrudimentary analytical acts, like taking an inven-
tory of harmonic vocabulary or describing motivic structure.Of course,
there is more to music (and should be more to music analysis) than har-
monic and motivic structure.The good news is that in recent years, set
theoryhas begun to branch out into voice leading,18rhythm,19 contour,20
and timbre.21As crucial as these topics are to a complete understandingof
post-tonalmusic, they have had to await the prior constructionof a secure
theoryof pitch organization.Now that a reliable theoryof pitch organiza-
tion is in place, a rapid expansion into othermusical areas has become not
only possible, but an excitingfact of currentpost-tonaltheory.
16Subset and
superset relations are discussed in Forte, The Structureof Atonal Music, 24-29
and Rahn, Basic Atonal Theory, 115-117.
17Forte's K and Kh relations are the best known models of set
complexes. He has recently
evolved a new model in "Pitch-Class Set Genera and the Origin of Modern Harmonic Species/*Journal
of Music Theory 32/2 (1988): 187-270.
18See Alan
Chapman, "Some IntervallicAspects of Pitch-Class Set Relations/*Journal of Mu-
sic Theory25 (1981): 275-90; Allen Forte, "New Approaches to the Linear Analysis of Music,**Journal
of the American Musicological Society 41 (1988): 315-48; ChristopherHasty, "On the Problem of
Succession and Continuityin Twentieth-CenturyMusic,**Music Theory Spectrum 8 (1986): 58-74.
See also two importantrecent dissertations:John Roeder, "A Theory of Voice-Leading for Atonal
Music'* (Yale University,1984) and Henry Klumpenhouwer,"A Generalized Model of Voice-Leading
for Atonal Music**(Harvard University,1991).
19See David Lewin, Generalized Musical Intervals,
particularly22-30 and 60-87; Allen Forte,
"Aspects of Rhythmin Webern*s Atonal Music,**Music Theory Spectrum 2 (1980): 90-109; Allen
Forte, "Foreground Rhythmin Early Twentieth-Century Music,'* Music Analysis 2/3 (1983): 239-68;
Martha Hyde, "A Theory of Twelve-Tone Meter,**Music Theory Spectrum 6 (1984): 63-78; Christo-
pher Hasty, "Rhythmin Post-Tonal Music: PreliminaryQuestions of Duration and Motion,**Journal
of Music Theory 25 (1981): 183-216.
20See Morris,
Composition with Pitch Classes, 23-33; Michael Friedman, "A Methodology for
the Discussion of Contour: Its Application to Schoenberg's Music,**Journal of Music Theory 29/2
(1985): 223-48; Elizabeth West Marvin and Paul A. Laprade, "Relating Musical Contours: Extensions
of a Theory for Contour,**Journal of Music Theory 31/2 (1987): 225-67.
21See
Wayne Slawson, "The Color of Sound: A Theoretical Study in Musical Timbre,**Music
TheorySpectrum3 (1981): 132-41.


Straus-A Primer For Atonal Set Theory-1991 PDF

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A Primer for Atonal Set Theory

Author(s): Joseph N. Straus

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SET THEORY HAS A BAD REPUTATION. LlKE SCHENKERIAN ANALYSIS IN

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Example 1. Two equivalentmelodies (Schoenberg,StringQuartetNo. 4, first

Example 2. Two equivalentmusical ideas (Schoenberg,Piano Piece, Op. 11,

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Every pitchbelongs to one of the twelvepitchclasses. If you begin with

4See Rahn,Basic AtonalTheory,19, fora relateddiscussionof the numerological

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Example 3. Motivic developmentvia orderedpitch intervals(Webern,"Wie

The intervallicideas of its openingnotes echo throughoutthe line. The

Example 4. Motivic developmentvia unorderedpitch intervals.

The relationshipis not as obvious as the one based on orderedpitch in-

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arrangedaround a circularclockface and count clockwise (or envision a pi-

Example 5. Differentcontour,but the same orderedpitch-classintervals.

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The contoursof the two fragments(theirorderedpitch intervals)are differ-

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Example 6. Developmentof the initialmelodic figure.

An unorderedpitch-classintervalis also called an intervalclass. Justas each

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Example 7. Interval-class content of a three-notesonority (Schoenberg,

Like any three-notesonority,it necessarilycontains three intervals- in this

Example 8. Interval-class content of a contrasting three-note sonority

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The interval-classcontentis usually presentedas a stringof six num-

Example 9. IntervalVector forthe major scale.

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Notice the methodicalprocess of extractingeach intervalclass. First,the

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Example 10. A single pitch-class set expressed in five differentways

It is expressed in a varietyof ways, but always retainsits basic pitch-class

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1. Excluding doublings,writethe pitch classes ascending withinan oc-

2. Choose the orderingwhich has the smallest intervalfromthe lowest

3. If two or more orderingsshare the same smallest intervalfromthe

4. If all of the comparisonsof Rule 3 still produceno clear choice, then

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Example 11. Transpositionallyequivalentpitch-classsets (Webern,Concerto

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equivalentpitch-classsets, and a transpositional

The openingfour-note melodyin the righthand of the piano describesa certain

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transpositionlevels, 0-3-7, exactly mirrorsthe intervallicsuccession of the

Example 13. Inversionallyequivalentpitch-classsets.

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[2, 5, 6] [6, 7, 10]

In the firstcolumn,the firstentryis an arbitrarily chosen set which is

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Example 14. Varied presentationof membersof a single-setclass.

In the firstthreemeasures, a single continuousmelody descends from

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